Feb 29, 2024 | Regulatory Compliance
In its latest draft Statement of Priorities, the Ontario Securities Commission (OSC) indicated some concerns with advice being provided by order execution only firms, and stated that information shared online may be incomplete, or misleading. In a potentially related...
Feb 28, 2022 | Corporate Finance, Regulatory Compliance
There are two European developments we wanted to bring to your attention, somewhat confusingly referred to as SDR (Settlement Discipline Regime) and SRD II (Shareholder Right Directive). SDR concerns the European Union’s (EU) Central Securities Depositories Regulation...
May 31, 2021 | Investment Funds, Regulatory Compliance
Certain of the securities regulatory authorities are proposing changes to Multilateral Instrument 25-102 Designated Benchmarks and Benchmark Administrators to provide for a securities regulatory regime for commodity benchmarks and administrators. MI 25-102, which was...
